Continuing Compliance in a Pandemic

In the midst of a worldwide pandemic, the same technologies that enable us to connect to loved ones in our daily lives can also play a vital role in our work lives as well, as business as usual transitions from the office to work at home.

However, for firms - especially those in the financial services sector - regulations are also key. Compliance must continue, even in a pandemic. FSOs are governed by regulations that require regulated employee communications to be recorded and surveilled, even when those employees work from home.  And most regulators are standing firm on their expectations to maintain market integrity in these turbulent times. 

Communication modalities that used to be forbidden by most FSOs (e.g. personal cell phones) are now being used to conduct regulated business. Unified Communications Platforms, like Microsoft Teams, have also become popular tools of the trade. In short, work at home has added to the compliance complexities.

As we transition to this "new normal", out technologies are evolving as well. Solutions that can capture, store, and search and relay any trade and compliance-related communication are available and can be quickly deployed.

No matter the challenges you face, we can help. Contact us to learn about scalable solutions to support any number of employees, regardless of where they are working.